Submission 1: SSS - Request for Proposals

Executing Agency Consulting Recruitment Submission 1: SSS - Request for Proposals

Part A [by the Executing Agency] – use checkboxes after reading instructions carefully and completing the documents as required prior to sending this Submission 1.

This is the: [indicate whether 1 st , 2 nd , 3 rd , etc.] request for review

Loan/Grant (Country) (No.): Title Package/Component: ______

Name of Executing Agency (EA): ______Report Submitted by: Name/ Designation: ______Signature: ______Date Submitted: ______Date of EA Consultant Selection Committee (CSC) Meeting: ______

Checklist of Attached Documents ( For 1 st Review): [Make sure all attachments with “Yes”.]

(For the 1st review) Attachment 1: Procurement Plan published in ADB website Yes [ ] No [ ] [Procurement plan must be within a year and for each loan, not per MFF. Attach approval memo for individual changes in the procurement plan.] Attachment 2: Budget for consulting services including contingency, provisional sums Yes [ ] No [ ] with breakdown, and a provision for indirect local tax Attachment 3: Draft Request for Proposals (RFP) with Terms of Reference (TOR), Yes [ ] No [ ] Data Sheet, Summary and Personnel Evaluation Sheets1 and Draft Contract Attachment 4: Narrative Evaluation Criteria (NEC), if requested by ADB. Yes [ ] No [ ] [Part A includes a checklist for EA to certify NEC’s compliance to the important requirements. However, EA may be requested to attach a draft NEC for a full review by ADB (see below “For ADB’s project division”).]

For ADB’s Project Division: Please attach a copy of previous communications with OSFMD Procurement Specialist related to items covered by this Submission Document (if any). For OSP2 countries, please always request Attachment 5: Narrative Evaluation Criteria from the EA. (For the succeeding review) The information or documents requested in the latest review in Part B: Yes [ ] No [ ]

______

1 The appropriate templates can be downloaded from ADB website in the following link: http://www.adb.org/site/business- opportunities/operational-procurement/consulting/documents.

October 2013 1. EA CSC Members*: Name Ministry/Department/Agency Designation

* Is there any consultant in the EA’s CSC Meeting? – if Yes, please certify as follows. Yes [ ] No [ ] - “The EA confirms that the consultant in the EA’s CSC Meeting does not have any ongoing business associations (whether direct or indirect) with the firms (including - Confirmed [ ] proposed experts).”

2. Attachment 1: please confirm that the procurement Plan supports this consultant - Confirmed [ ] recruitment by (i) the assignment title, (ii) budget (see para. 3), (iii) SSS method, and (iv) type of shortlisting.

- If No, coordinate with the Project Unit the posting of the updated procurement plant to ADB website prior to sending this submission 1. - If SSS is not indicated in the procurement plan or in the project document, request from ADB project staff a copy of the ADB’s SSS approval and attach it to this submission 1.

2.1. Contract Period: ______months - [Contract must end before the loan closing date, SCC14.1] 2.2. Loan Closing Date: ______2.3. Type of Contract [ ] Time-Based [ ] Lump-Sum

3. Attachment 2: Budget US$ ______[ ] Estimated [ ] Maximum Please confirm if the Budget followed the following: - Confirmed [ ] 3.1. Budget comprises five categories: (i) remuneration, (ii) expenses, (iii) provisional sums, (iv) contingencies, and (v) indirect local taxes? 3.2. Remuneration covers Key- and Non Key- experts following positions in TOR? 3.3. Contracted staff is under expenses? 3.4. Provisional sums are enumerated with corresponding amounts? 3.5. Contingencies are 5-10% of the base cost which comprises remuneration, expenses, and provisional sums?.

4. Attachment 3: RFP – please confirm each item. If EA does not confirm, state the reasons: ______4.1.Section 1 – LOI includes the name of the consultant nominated for SSS with full - Confirmed [ ] name of lead, JV member(s), and/or Sub-consultant(s) and country of incorporation of each consulting firm as stated in the ADB’s project document or SSS approval? 4.2.Data Sheet followed instructions in the template, without modifying the original - Confirmed [ ] text? 4.3.Terms of Reference: please make sure the following: - Confirmed [ ] 4.3.1. TOR uses the standard template in Section 7, RFP? 4.3.2. TOR includes position-based TORs for Key Experts in “4. Team Composition and Qualification Requirements for Key Experts”?

October 2013 4.3.3. TOR excludes a pass/fail or restrictive criteria (example: age, gender)? [“minimum”, “at least”, “must”, “shall”, etc. should be replaced with “preferred” or “… will be advantage.”] 4.3.4. TOR uses a separate appendix for support staff requirements, if any? 4.3.5. TOR excludes financial information? 4.3.6. TOR includes “6.Clients Input and Counterpart Personnel”? 4.3.7. TOR includes “7. Information to facilitate Proposal preparation”? NOTE: Position based TOR for an expert includes (i) international / national; (ii) key / non-Key; (iii) position title; (ii) preferred qualification; (iv) tasks and responsibility. EA evaluates only key experts for technical evaluation. When TOR has specific support staff provision, the requirements should be in a separate appendix, may be indicating that the Consultants should price them under Expenses in FIN-4, otherwise the Client may adjust the proposed price; and Data Sheet 16.1 should include an item for support staff. 4.4. Please confirm: there is no modification to the standard text and forms in RFP - Confirmed [ ] except Section 8 Contract Forms. - If EA has a change specific to this selection, describe the change:

______4.5. There is no modification to Contract Forms in Section 8, RFP – tick when it is - Confirmed [ ] confirmed. If EA has a change specific to this selection, describe the change:

______[A change to GCC should be through SCC. For any change to GCC/SCC, or any part in the standard contract provisions and Forms, EA should report to ADB project staff for the clearance by ADB’s legal department (OGC) prior to this submission 1 .] 4.6. Special Conditions of Contract (SCC) related to ADB’s Consulting Services Guidelines [SCCs in Italics are required by ADB’s consulting services guidelines in C. Important Contract Provisions for Loans.] Time- Lump-Sum Based Special Conditions Contract Contract SCC13.1 SCC13.1 Confirmation of Key Experts’ availability in accordance [To be finalized with the agreed schedule, which shall be submitted to the during negotiation.] Client in writing signed by each Key Expert and as a precondition to start the assignment. Confirmation will define the agreed uncontrollable circumstance, too that allows replacement with reference to GCC30.2. This will be added to Appendix B. SCC21.b SCC21.b Conflict of Interest Delete “on a case by case basis” and Yes [ ] No [ ] “Yes ___ No ___”. SCC23.1 SCC23.1 Professional Liability as at least one time the total value of the [To be finalized Contract as stated in the standard SCC provision. during negotiation.] SCC24.1 SCC24.1 Insurance coverage not less than the total ceiling amount for [To be finalized each currency of payment, corresponding to SCC23.1. during negotiation.] SCC42.3 SCC38.1 Adjustment of Remuneration: Yes [ ] No [ ]  Time-Based Contract shall apply the index based formula in the standard Contract Form. Other form of adjustment such as 3% annually shall be discouraged as it is not always neutral.  Lump-Sum Contract has no adjustment. It is a fixed price contract (GCC38.1). SCC43.1 SCC38.1, Taxes: a provision for local indirect taxes consistent with Data Yes [ ] No [ ] and 43.2 39.1, and Sheet. 39.2 SCC44.1 SCC38.1 Currencies as stated in the financial proposal, subject to up to [To be finalized and 41.2 three convertible foreign currencies and a local currency. during negotiation.]

October 2013 SCC45.1 SCC41.2.1 Advance: around 5%. Advance exceeding 10% of the [To be finalized (a) contract amount requires bank guarantees by the Form in during negotiation.] Appendix E. - SCC41.2 Payment schedule for Lump-Sum Contract: linked to the [To be finalized delivery of services/ outputs in Appendix A. during negotiation.] SCC46.1 SCC42.1 Interest on delayed payment is indicated by annual rate [To be finalized available to the Consultant for the currency of payment. during negotiation.] SCC49 SCC45.1 (a) Dispute provisions including arbitrator, appointing authority, etc. Yes [ ] No [ ] as stated in the standard Contract Form. For national shortlisting, Project Division should consult with OGC for advice to the EA.

5. Narrative Evaluation Criteria (NEC) – NEC must be prepared in a way that all items are complied with “Yes” except para. 5.6, which is EA’s option. EA is requested to complete the following questions whether or not EA attaches the NEC for ADB’s review. 5.1. NEC used ADB’s standard template? Yes [ ] No [ ] 5.2. NEC has criteria and weights consistent with the summary evaluation sheet? Yes [ ] No [ ] 5.3. NEC excludes additional requirements which were not in the TOR? Yes [ ] No [ ] 5.4. NEC excludes a pass/fail approach? [A pass/fail approach is not acceptable. An Yes [ ] No [ ] example: less than 5 projects will be mechanically rated as non-compliant with zero rating.] 5.5. NEC excludes restrictive criteria such as age, gender, etc.? Yes [ ] No [ ] 5.6. NEC includes penalty for excess pages (Section 3, RFP)? Yes [ ] No [ ] [Example: 5 points per a page excess deducted from the total score in summary evaluation sheet.]

October 2013 Part B [ADB Comments on EA’s Submission]

1. Conclusion: 1.1. LCU/Project Division approves this Submission 1. [ ] 1.2. LCU/Project Division approves this Submission 1 with the following comments in Part B. [ ] The Project Unit must confirm EA’s incorporation of the comments in Part B prior to extending ADB’s approval to the EA.

1.3. LCU/Project Division disapproves this Submission 1. The submission for the next review [ ] needs to attach the following documents which have incorporated ADB’s comments. Attachment 1: Procurement Plan published in ADB website [ ] [Procurement plan must be within a year and for each loan, not per MFF. Attach approval memo for individual changes in the procurement plan.] Attachment 2: Budget for consulting services including contingency, provisional sums with [ ] breakdown, and a provision for indirect local tax Attachment 3: Draft Request for Proposals (RFP) with Terms of Reference (TOR), Data [ ] Sheet, Summary and Personnel Evaluation Sheets1 and Draft Contract Attachment 4: Narrative Evaluation Criteria (NEC) in ADB template [ ] Other requirements: ______[ ]

2. CSC members: 2.1. ______2.2. ______

3. Attachment 1: Procurement Plan 3.1. ______3.2. ______

4. Attachment 2: Budget 4.1. ______4.2. ______

5. Attachment 3: RFP 5.1. Completeness: 5.1.1. ______5.1.2. ______

5.2. Section 1: Letter of Invitation (LOI): 5.2.1. ______5.2.2. ______

5.3. Section 2: Data Sheet: 5.3.1. ______5.3.2. ______

5.4. Summary and Personnel Evaluation Sheets (SES and PES): 5.4.1. ______5.4.2. ______

5.5. Section 7: Terms of Reference (TOR):

1 The appropriate templates can be downloaded from ADB website in the following link: http://www.adb.org/site/business- opportunities/operational-procurement/consulting/documents.

October 2013 5.5.1. ______5.5.2. ______

5.6. Section 8: Contract Form: 5.6.1. ______5.6.2. ______

6. Attachment 4: Narrative Evaluation Criteria (NEC) 6.1. ______6.2. ______

7. Attachment 5: CRAM (as of dd/mm/yyyy) 7.1. Cumulative Cumulative Difference Comment on the causes of delays planned days achieved days (a) (b) (c) = (b) - (a)

Note: Numbers pertain to calendar days. Negative number indicates being ahead of the recruitment process. ______

8. Other Issues: 8.1. ______8.2. ______

9. Advance Reminders for Submission 2 Review: Please refer to the Guide for Submission 2 in ADB website for detailed instructions.

9.1. In reference to SRFP Section 1, LOI, para. 7(a), the Project Unit should request the EA to secure a confirmation of withdrawal in writing from the Consultant if the EA did not receive its proposal.

9.2. EA should confirm approval if there is a change (dropping/removal or addition) in the original association with reference to Section 1, LOI, paras. 4 and 7(b).

9.3. EA must ensure that the firm that submits the proposal is the same legal entity that was approved for SSS (refer to RRP/PAM or SSS approval). If the proposal received has a different legal entity from the one nominated for the SSS, the proposal should be rejected and the SSS shall be terminated. This also applies when a parent company, a group of firm, a subsidiary, or a local affiliate of the shortlisted firm submits the proposal (see para. 4 - LOI, Section 1 of the SRFP).

9.4. The EA should ensure that evaluation is conducted taking into account the issues on disqualification (see “Disqualification of an Expert” in the SRFP).

9.5. If a technical proposal nominates more than one expert for a position, the CSC evaluates all candidates and applies the lowest rating among them in the PES/SES.

9.6. If EA finds the Consultant’s technical proposal not qualified to the assignment with a total technical score of less than 750, the SSS shall be terminated.

10. Anticorruption Sanction/Terrorism Lists Checking and External ADB Auditor Clearance:

Is the consulting firm nominated for this SSS (including Yes No Joint Venture Partner/s or Sub-consultant/s) in ADB Anticorruption Sanction Lists and Terrorism Lists? (check ADB website)

October 2013 - If Yes, this SSS shall be terminated.

Is the consulting firm an external ADB auditor? Yes No

- If Yes, please obtain clearance from OAG before proceeding.

11. Checking of Conflict of Interest [in accordance with the Guidelines on the Use of Consultants by ADB and Its Borrowers (CG) ]:

Conflict with concerned OSFMD/Project Unit Specialists [CG 1.11(c)] Yes No

This includes staff relation with the shortlisted consultant past one year. If Yes, state relationship and state the remedy: ______

Reminders for the Project Unit

1. Subject to Section F of PAI 2.05, upon receipt of the EA’s Submission 1, the Project Unit ensures that the EA submitted complete documents required (Checklist of Attached Documents) in the submission form before immediately forwarding an electronic copy of the submission to OSFMD- LCU (see PAI 2.05, paragraph 14).

2. The Project Unit should ensure that EA uses the latest SRFP without modification or omission of the standard provisions.

3. The Project Unit should ensure that the submission is consistent with the latest uploaded procurement plan.

October 2013 Prepared by:

______Signature above Printed Name Signature above Printed Name OSFMD (If applicable) Project Unit Note: When OSFMD review is required, the Project Unit Officer signs the ______review document after the OSFMD Date Officer signs it.

______Date

Approved by:

______Signature above Printed Name Director, Project Unit / Country Director, Resident Mission (Please sign as applicable)

______Date

Disclaimer: The review and approval of this submission document is conducted independently and must not serve as a precedent for future reviews.

Distribution: Country Director / Director (Project Unit) / (Project Unit Specialist) OSFMD-LCU

October 2013